SAN FRANCISCO PUBLIC UTILITIES COMMISSION INFRASTRUCTURE CONSTRUCTION MANAGEMENT PROCEDURES

Transcription

1 SAN FRANCISCO PUBLIC UTILITIES COMMISSION INFRASTRUCTURE CONSTRUCTION MANAGEMENT PROCEDURES SECTION: SFPUC INFRASTRUCTURE CONSTRUCTION MANAGEMENT PROCEDURE NO: 032 TITLE: SQS PLAN AND SURVEILLANCE PROCESS APPROVED: "----- DATE: 11/14/16 REVISION: Policy The SFPUC Infrastructure Construction projects may require the services of an independent third party to observe and confirm the quality of Contract supplied materials and equipment at the Vendor's fabrication facility. This CM Procedure applies to all personnel working on the SFPUC Infrastructure projects during construction to the extent that their work is affected by these SFPUC Infrastructure CM Procedures and does not conflict with specific San Francisco Public Utilities Commission (SFPUC) policies or the Contract under which the Work is executed. 2.0 Description This procedure defines the requirements, roles and responsibilities for the Supplier Quality Surveillance (SQS) and the surveillance process implementation. 2.1 SOS Overview SQS is a component of Quality Management which is performed at the supplier manufacture or fabrication facility SQS activities are performed for both the (a) City furnished materials and equipment, and (b) Contractor provided materials and equipment. 2.2 Quality Control Activities The SQS Plan activities are NOT a substitute for Quality Control Plan activities performed by SFPUC Suppliers or Contractors at the Vendor's fabrication facility, and no liability is incurred for SQS activities. SFPUC Infrastructure CM Procedure No. 032, Revision 0, Page 1 of 18

2 3.0 Definitions 3.1 Equipment List The Equipment List is a table of major mechanical and electrical equipment required by a Construction Contract and City furnished equipment. An Equipment List is prepared with the draft SQS Plan for review and approval. Typical information can include the following: Equipment Identification with Tag Number if available; Item Description; Reference Drawing; Specification Reference; Provider (Contractor or City); Comments (including additional item description information); Recommendation for SQS Plan (indicates if part of SQS). Refer to Attachment for draft Equipment List sample. 3.2 Factory Acceptance Tests Factory Acceptance Tests are verifications that specific equipment and their components conform to the performance criteria specified in the Contract Documents Factory Acceptance Tests occur before the materials or equipment are delivered to the construction site SFPUC Infrastructure personnel have the primary responsibility to witness and document the Factory Acceptance Tests The CMB Manager may authorize Independent Third Party Participation /Witness of Factory Acceptance Tests. 3.3 Quality Assurance (QA) Quality Assurance is the element of Quality Management that requires development and implementation of a system of processes and procedures that will enable the SFPUC Infrastructure Team to provide confidence that the products and work meet the quality requirements of the Contract Documents. Quality Assurance surveillance is conducted to verify conformance to specific contract or procedural requirements. 3.4 Quality Control (QC) Quality Control is the element of Quality Management that requires development and implementation of a system of processes and procedures that will enable the Contractor (or Vendor) to verify that the work as constructed complies with the requirements of the Contract Documents Quality Control emphasizes testing as one of the available tools to uncover defects or non-compliance of products to specifications which are made part of the Contract or Purchase Order. SFPUC Infrastructure CM Procedure No. 032, Revision 0, Page 2 of 18

3 3.4.2 Prior to equipment fabrication, the Contractor or City PO Vendor (Supplier) submits a Quality Control Plan that describes the system for controlling the quality of the parts and materials for SFPUC approval. 3.5 Supplier Quality Supplier Quality is the element of Quality Management that requires development and implementation of a system of processes and procedures that will enable the Supplier to provide confidence that the products and work meet the quality requirements of the Contract Documents. 3.6 SQS Reports SQS Reports are prepared by the SQS Surveillance personnel based on their surveillance of equipment fabrication and/or assembly at the Vendor s fabrication facility and then sent to the SQS Coordinator for review and distribution; refer to Attachment Supplier Quality Surveillance (SQS) SQS is the Progressive Quality system observation at Sources of Manufacture for materials and equipment, specific to the users applied standards, specifications and good Quality Practice prior to Vendor shipment, site arrival, user inspection and purchaser Final Acceptance. 3.8 SQS Non-Compliance Report An SQS Non-Compliance Report is prepared by SQS Surveillance personnel for observed quality deficiencies or non-conformance to specification requirements, refer to Attachment After notification and review of SQS Non-Compliance, the RE prepares and issues a SFPUC Non-Compliance Report to the Contractor in compliance with the Contract Documents The Project Engineer is responsible to issue SFPUC Non- Compliance Reports for City Furnished Materials and Equipment to the Vendor in compliance with the Contract Documents. 3.9 Supplier Quality Surveillance (SQS) Plan The SQS Plan is a description of specification requirements that will be surveilled, and Vendor documentation that will be reviewed, at the Supplier/Vendor or Sub-Vendor fabrication facility. A sample SQS Plan is provided on Attachment Responsibilities 4.1 Contractor The Construction Contractor is responsible for executing the Work to meet all of the requirements of the Contract. The Construction Contractor is SFPUC Infrastructure CM Procedure No. 032, Revision 0, Page 3 of 18

4 responsible for Quality Control and Material Testing (as required by the Contract), and for providing verification that the products and services meet these requirements. 4.2 CMB Manager The CMB Manager manages the Construction and Closeout Phases of all SFPUC Infrastructure Projects. The CMB Manager may authorize an independent third party surveillance of Contractor provided materials and equipment. The CMB Manager is responsible for approving the SQS Plan for City furnished and Contractor provided items prepared by the SQS Manager or the PM/PE. 4.3 Resident Engineer (RE) The RE manages the Construction Contract; verifies that the construction work is completed in conformance to the Contract Documents; and determines when contractual action is required related to a quality issue. The RE is responsible for providing Vendor information necessary to plan and execute SQS activities and for following up with the Contractor to address any reported quality non-conformances or deficiencies resulting from SQS activities. The RE coordinates directly with the SQS Manager and/or SQS Surveillance personnel for Contractor furnished quality or production schedule issues at the Vendor s fabrication facility. 4.5 Project Engineer (PE) The Project Engineer oversees the development of the technical specifications and the quality requirements specified therein. The PE is also responsible for defining the quality requirements for vendors providing City furnished materials and equipment, the storage requirements, and the requirements for acceptance and verification by the Contractor The PE serves as the primary point of contact with the Engineer(s) of Record for the project for all Vendor quality issues The PE is responsible for conducting and/or arranging for Factory Acceptance Test(s) witness and documentation performed by the SFPUC Infrastructure CM Team. 4.6 Project Manager (PM) The PM works with the PE to review and provide input to the draft Equipment List and draft SQS Plan. The PM is also responsible for providing all Vendor information, from the PE, to the SQS Coordinator for City furnished materials and equipment upon award of a Purchase Order. SFPUC Infrastructure CM Procedure No. 032, Revision 0, Page 4 of 18

5 4.7 Program Quality Manager (PQM) For major capital improvement programs, the individual functioning in the role of the Program Quality Manager develops the requirements, business processes, procedures and training for quality assurance applications during construction. In the absence of the PQM the PCM will take over this role The PQM monitors and audits compliance by the CM Teams with quality assurance procedures and requirements and consistent enforcement of the Contract terms related to quality The PQM assists the SQS Coordinator with monitoring the construction contract Notice to Proceed dates and obtaining from the RE Vendor information for SQS items The PQM assist with follow-up and resolution of SQS Non- Conformances and deficiencies reported by SQS Surveillance personnel. 4.8 Construction Manager (CM) The CM directs the CM team members, including managing the REs and implementation resources. 4.9 Supplier Quality Surveillance (SQS) Coordinator The SQS Coordinator is responsible for the SQS coordination efforts throughout multiple projects or multiple fabrication sites within a project and include: Interfaces with PM and PE for SQS Plan comments and notifies SQS Manager of any issues needed for resolution; Coordinates and manages any Sub-Consultant firms providing direct SQS support services; Notifies designated SFPUC RE of SQS Pre-Surveillance Meeting; Assigns SQS Surveillance personnel for all initial, interim and final surveillance; Distributes SQS Reports and Non-Compliance to SFPUC Project Engineer, PM, CM and PQM. Is responsible for preparing the draft Equipment List and SQS Plan. Maintains the SQS files for their assigned project purchase orders until completion of the assignment for turnover to the SFPUC SQS Surveillance Inspector SQS Manager and SQS Surveillance Inspector conduct periodic observation and inspection of the designated City furnished and Contractor furnished equipment and material at the source of fabrication and assembly other than the construction site. SFPUC Infrastructure CM Procedure No. 032, Revision 0, Page 5 of 18

6 SQS Surveillance Inspector shall: 4.11 Vendor Review SFPUC approved Project SQS Plan and develop surveillance plans for each item and Vendor. Arrange for the Pre-Surveillance Meeting with Vendor and notify the SQS Coordinator. Conduct Pre-Surveillance Meeting with each Vendor and/or Contractor to review quality requirements and Vendor QC plans, and fabrication schedules. Conduct an independent third party quality surveillance and fabrication progress status for each item pursuant to the SQS Plan approved by the SFPUC. Witness equipment performance Factory Acceptance Tests, if requested. Prepare and submit SQS Surveillance Reports including SQS Non-Compliance Reports to SQS Coordinator. Notify SQS Coordinator of critical issues or additional follow-up QA activities required. The Vendor (aka: Supplier) provides the contract materials and equipment to the Contractor to complete the Work The Vendor and Sub-Vendor (if needed) provide the following materials and equipment information through the RE (for Contractor furnished) or PE (for City furnished) to the SQS Coordinator for each SQS item: Factory Name, Location, Contact Representative Name and Telephone Number; Purchase Order (without contract price), specifications and Quality Control requirements; Scope of Supply; Material or Equipment Data Sheets (for each item identified by Tag Number); Inspection and Test Plans; Factory Acceptance Test Procedure; Vendor Fabrication Schedules; Same information as above required for Sub-Vendors of major components. SFPUC Infrastructure CM Procedure No. 032, Revision 0, Page 6 of 18

7 The Project Engineer is the Vendor contact for City Furnished Materials and Equipment until acceptance by the RE at the Construction site. 5.0 Implementation 5.1 SQS Plan Development and Approval Project Manager provides 95% Construction drawings and specifications, and final drawings and specifications for City furnished equipment to SQS Coordinator. (Project Manager is also responsible for providing any bid addenda to the SQS Coordinator that changes drawings or specifications.) SQS Manager submits Draft Equipment List to PM and PE for review PM and PE review draft Equipment List and PM forwards comments to SQS Coordinator SQS Manager discusses any differences with PM for decision SQS Manager updates Draft Equipment List and drafts SQS Plan SQS Coordinator submits documents to CMB Manager for approval CMB Manager obtains input from PM and PE, approves SQS Plan and returns to the SQS Coordinator SQS Manager updates SQS Plan as needed and SQS Coordinator sends final version to the PM and CMB Manager. 5.2 Pre-SQS Plan Implementation SFPUC issues Purchase Order /Construction Contract NTP RE provides the Vendor Information to the SQS Coordinator from the Contractor, refer to Attachment Project Manager provides the City awarded Purchase Order and Vendor information for City furnished equipment to the SQS Coordinator SQS Coordinator develops Task Assignments for surveillance activities and assigns the SQS Surveillance Inspector for all initial, interim and final surveillance activities. 5.3 SQS Plan Implementation The designated SQS Surveillance Inspector arranges for the Pre- Surveillance Meeting with each Vendor and/or Contractor, notifies the SQS Coordinator. The SQS Coordinator notifies the designated RE and PE for their optional attendance. SFPUC Infrastructure CM Procedure No. 032, Revision 0, Page 7 of 18

8 5.3.2 The SQS Surveillance Inspector conduct the Pre-Surveillance Meeting to review quality requirements, Vendor QC Plans and fabrication schedules SQS Surveillance Inspector perform surveillance activities at Vendor s fabrication facility. 5.4 SQS Reporting The SQS Surveillance Inspector submits SQS Reports to the SQS Coordinator; refer to Attachment The SQS Reports include discussion of activities observed, fabrication progress, deficiencies observed and any Non- Compliance Reports deemed necessary by the SQS Surveillance personnel. 5.5 Factory Acceptance Tests Factory Acceptance Tests are in-factory testing that verify specific equipment components conformance to the required performance specified by the Contract Documents before the equipment is delivered to the construction site Factory Acceptance Tests are witnessed and documented by an SQS Surveillance Report by the Project Engineer or designee The CMB Manager can authorize the SQS Surveillance Inspector to participate in Factory Acceptance Tests 5.6 SQS Plan Close-out The SQS Coordinator transmits the SQS files to the RE at the completion of the project assignment. 6.0 Other Procedural Requirements 6.1 SQS Plan Develop Supplier Quality Surveillance (SQS) Plan (for each project). 6.2 SQS Vendor Shop Schedule Incorporate SQS Vendor Shop Schedule into CM Schedule. 6.3 Transfer of Responsibility Transfer City Furnished Materials and Equipment responsibilities from Project Engineer to RE at Work Site. 6.4 SQS Exceptions PE shall notify and provide documentation to RE any SQS item exception allowed at the Vendor Shop which was deferred to the Field. SFPUC Infrastructure CM Procedure No. 032, Revision 0, Page 8 of 18

9 7.0 References 7.1 Technical Specifications Section Product Requirements Section Owner-Furnished Products 7.2 CM Procedures No. 015 City Furnished Materials and Equipment No. 028 Construction Quality Management 7.3 Others SFPUC Infrastructure Construction Management Plan 8.0 Attachments Draft Equipment List Sample Supplier Quality Surveillance (SQS) Plan Sample Pre-Surveillance Meeting Report Sample Form Contractor Provided Vendor Information- AWWA C504 Butterfly Valves SQS Report Sample Format SQS Non-Conformance Report Revision Control Log SFPUC Infrastructure CM Procedure No. 032, Revision 0, Page 9 of 18

10 Attachment Draft Equipment List Sample SFPUC Infrastructure CM Procedure No. 032, Revision 0, Page 10 of 18

11 Attachment Page 1 of 2 SQS Plan/Check List Sample SFPUC Infrastructure CM Procedure No. 032, Revision 0, Page 11 of 18

12 Attachment Page 2 of 2 SQS Plan/Check List Sample SFPUC Infrastructure CM Procedure No. 032, Revision 0, Page 12 of 18

13 Attachment Page 1 of 2 Pre-Surveillance Meeting Report Sample Form SFPUC Infrastructure CM Procedure No. 032, Revision 0, Page 13 of 18

14 Attachment Page 2 of 2 Pre-Surveillance Meeting Report Sample Form SFPUC Infrastructure CM Procedure No. 032, Revision 0, Page 14 of 18

15 Attachment Contractor Provided Vendor Information- AWWA C504 Butterfly Valves SFPUC Infrastructure CM Procedure No. 032, Revision 0, Page 15 of 18

16 Attachment SQS Report Sample Format SFPUC Infrastructure CM Procedure No. 032, Revision 0, Page 16 of 18

17 Attachment SQS Non-Conformance Report SFPUC Infrastructure CM Procedure No. 032, Revision 0, Page 17 of 18

18 Attachment Revision Control Log Revision No. Revision Date What changed? Rev 0 11/14/16 Signed SFPUC Infrastructure CM Procedure No. 032, Revision 0, Page 18 of 18